Securities And Investment Laws - Notes, Case Laws And Study Material

This study material is a one-stop solution to all your queries about securities and investment laws in India. Legal Bites' 6-part course provides a solid foundation for students who wish to learn about these laws.

Securities are investment products representing small fractional interests or rights over a business enterprise or a pool of assets. Transactions in securities are regulated by three major legislation in India viz. Securities Contract (Regulation) Act, 1956, Securities and Exchange Board of India Act, 1992 and Companies Act, 2013.

The term 'investment' can be described in various ways as per different principles and theories. Typically, the application of assets or money with the expectation that it would generate or appreciate more income in future is known as investment.

Read all the important topics related to Securities And Investment Law only at Legal Bites:

MODULE 1: Investment in Corporate Securities

• Concept of Securities and Investment
• Issue of Prospectus by Corporation/ Company
• Share Capital: Concept and Kinds
• Debentures: Meaning, Features and Kinds
• Charges: Meaning, Kinds and Registration
• Dividends- Meaning & Its Types

MODULE 2: Securities Contract (Regulation) Act, 1956

• Securities Contract Regulation Act 1956: Salient Features
• Recognition of the Stock Exchange
• Regulation of Contracts and Options in Securities
• Listing of Securities
• Adjudication: Penalties and Procedure

MODULE 3: Securities and Exchange Board of India Act, 1992

• SEBI: Objective and Establishment (Overview)
• Management of SEBI
• Powers and Functions of the Board
• Prohibition of Manipulative and Deceptive Devices
• Insider Trading
• Substantial Acquisition of Securities or Control
• Securities Appellate Tribunal: Establishment, Jurisdiction, Authority and Procedure
• Securities Appellate Tribunal: Appeals and Limitations

MODULE 4: Depositories and Other Securities

• Depositories- Meaning & Its Types
• Mutual Funds: Concept, Classification and Regulation
• Venture Capital: Concept, Features, Regulation and Development
• Government Securities: Meaning, Types and Risks

MODULE 5: Non-Banking Financial Institutions and Foreign Exchange Management

• Law relating to Non-Banking Financial Companies
• Foreign Exchange Management Act (Overview)
• Foreign Direct Investment in the NBFCs Sector

MODULE 6: Other Articles

• Special Purpose Acquisition Companies (SPAC): Applicability in the Indian Legal Framework
• Takeovers: Concept, Regulation and Defences
• Case Summary: TATA Sons Pvt. Ltd. (Formerly TATA Sons Ltd) v. Siva Industries and Holdings Ltd & Ors., (2023)
• Important Case Laws Related to Securities and Investment Laws